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FICC Rulemaking Archive: 2006

We encourage the public to submit comments on the following Fixed Income Clearing Corporation (FICC; formerly Government Securities Clearing Corp.) filings during the comment period. For detailed instructions, please read How to Submit Comments. We strongly encourage you to send your comments electronically. They will be posted on this website.

Chronological List

Fourth Quarter | Third Quarter | Second Quarter | First Quarter

FICC File Number List for 2006

Additional Archives


Chronological List
Release No. Date Details
Fourth Quarter

SR-FICC-2006-15
34-54969 Dec. 19, 2006 Order Approving Proposed Rule Change to Modify its Rules to Diversify and Standardize Clearing Fund Collateral Requirements Across the Divisions to Improve Liquidity and Minimize Risk for its Members
See also:  Notices: Rel. Nos. 34-54682A and 34-54682

SR-FICC-2006-16
34-54964 Dec. 19, 2006 Notice of Filing of Proposed Rule Change to Replace the Government Securities Division Clearing Fund Calculation Methodology with a Yield-Driven Value-at-Risk Methodology
Comments due: January 17, 2007
See also:  Order: Rel. No. 34-55217

SR-FICC-2006-07
34-54957 Dec. 18, 2006 Order Approving a Proposed Rule Change Relating to Providing Certain Reports to its Members
See also:  Notice: Rel. No. 34-54619

SR-FICC-2006-05
34-54929 Dec. 13, 2006 Notice of Filing of a Proposed Rule Change Relating to the Wind-Down of a Participant
Comments due: January 10, 2007
See also:  Order: Rel. No. 34-55364

SR-FICC-2006-11
34-54899 Dec. 8, 2006 Order Approving a Proposed Rule Change Relating to Establishing New Reporting Processes to Support the Bilateral Comparison of Pool Details Associated with Specified Pool Trade Activity
See also:  Notice: Rel. No. 34-54609

SR-FICC-2006-12
34-54879 Dec. 6, 2006 Order Approving a Proposed Rule Change Relating to Financial Responsibility, Operational Capability, Insolvency, and Ceasing to Act
See also:  Notice: Rel. No. 34-54570

SR-FICC-2006-13
34-54821 Nov. 28, 2006 Order Granting Approval of a Proposed Rule Change Relating to the Federal Reserve's National Settlement System
See also:  Notice: Rel. No. 34-54622

SR-FICC-2006-17
34-54819 Nov. 27, 2006 Notice of Filing of a Proposed Rule Change Relating to Clearing Fund Deficiency Calls
Comments due: December 27, 2006
See also:  Order: Rel. No. 34-55136

SR-FICC-2006-18
34-54794 Nov. 20, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Certain Administrative Provisions of the Rules of the Government Securities Division and the Mortgage-Backed Securities Division
Comments due: December 20, 2006

SR-FICC-2006-14
34-54787 Nov. 20, 2006 Notice of Filing of a Proposed Rule Change Relating to Returning Excess Clearing Fund Collateral
Comments due: December 18, 2006
See also:  Order: Rel. No. 34-55134

SR-FICC-2006-15
34-54682A Nov. 17, 2006 Notice of Filing of Proposed Rule Change to Modify its Rules to Diversify and Standardize Clearing Fund Collateral Requirements Across the Divisions to Improve Liquidity and Minimize Risk for its Members; Correction and Extension of Comment Period
Comments due: December 12, 2006

See also:  Order: Rel. No. 34-54969 and Notice: Rel. No. 34-54682

SR-FICC-2006-10
34-54769 Nov. 16, 2006 Notice of Filing of Proposed Rule Change to Amend the Rules of its Mortgage-Backed Securities Division Regarding Membership Requirements for Unregistered Investment Pools
Comments due: December 15, 2006
See also:  Order: Rel. No. 34-55037

SR-FICC-2006-15
34-54682 Nov. 1, 2006 Notice of Filing of Proposed Rule Change to Modify its Rules to Diversify and Standardize Clearing Fund Collateral Requirements Across the Divisions to Improve Liquidity and Minimize Risk for its Members
Comments due: November 30, 2006

See also:  Order: Rel. No. 34-54969 and Notice: Rel. No. 34-54682A

SR-FICC-2006-13
34-54622 Oct. 18, 2006 Notice of Filing of a Proposed Rule Change Relating to the Federal Reserve's National Settlement Service
Comments due: November 16, 2006

See also:  Order: Rel. No. 34-54821

SR-FICC-2006-07
34-54619 Oct. 18, 2006 Notice of Filing of a Proposed Rule Change Relating to Providing Certain Reports to its Members
Comments due: November 15, 2006
See also:  Order: Rel. No. 34-54957

SR-FICC-2006-11
34-54609 Oct. 16, 2006 Notice of Filing of a Proposed Rule Change Relating to Establishing New Reporting Processes to Support the Bilateral Comparison of Pool Details Associated with Specified Pool Trade Activity
Comments due: November 14, 2006
See also:  Order: Rel. No. 34-54899

SR-FICC-2006-12
34-54570 Oct. 4, 2006 Notice of Filing of a Proposed Rule Change Relating to Financial Responsibility, Operational Capability, Insolvency, and Ceasing to Act
Comments due: November 3, 2006
See also:  Order: Rel. No. 34-54879
Third Quarter

SR-FICC-2005-17
34-54487 Sep. 22, 2006 Order Approving Proposed Rule Change Relating to Assumption of Blind Brokered Fails by its Government Securities Division
See also:  Notice: Rel. No. 34-53396

SR-FICC-2006-03
34-54457 Sep. 15, 2006 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Changes to Institute a Clearing Fund Premium Based Upon a Memberís Clearing Fund Requirement to Excess Regulatory Capital Ratio
Other File No.:   SR-NSCC-2006-03
Comments due:  October 12, 2006
See also:  Notice: Rel. No. 34-53671

SR-FICC-2006-09
34-54173 Jul. 19, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Changes Whereby the President of Each Clearing Agency Shall Also Serve as its Chief Executive Officer
Other File Nos.:   SR-DTC-2006-10 and SR-NSCC-2006-08
Comments due:  August 18, 2006

SR-FICC-2006-08
34-54162 Jul. 17, 2006 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Removing References to Outdated EPN Reports
Comments due: August 14, 2006
Second Quarter

600-23
34-54056 Jun. 28, 2006 Notice of Filing and Order Approving an Extension of Temporary Registration as a Clearing Agency
Comments due: July 26, 2006
See also:  Notice/Orders: Rel. No. 34-51911, 34-49940

SR-FICC-2006-06
34-53863 May 24, 2006 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Eligibility to Becoming a Funds-Only Settling Bank Member
Comments due: June 22, 2006

SR-FICC-2006-04
34-53852 May 23, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Clarify Provisions in the Rules of the Government Securities Division Relating to the GCF Forward Mark Component of the Funds-Only Settlement Process
Comments due: June 20, 2006

SR-FICC-2006-03
34-53671 Apr. 18, 2006 Notice of Filing of Proposed Rule Changes to Institute a Clearing Fund Premium Based Upon a Memberís Clearing Fund Requirement to Excess Regulatory Capital Ratio
Additional File No.: SR-NSCC-2006-03
Comments due: May 15, 2006
See also:  Notice/Order: Rel. No. 34-54457
Comments received are available for this notice.
First Quarter

SR-FICC-2005-18
34-53534 Mar. 21, 2006 Order Approving the Proposed Rule Change to Enhance the Repo Collateral Substitution Process of FICCís Government Securities Division
See also:  Notice: Rel. No. 34-53036

SR-FICC-2005-22
34-53405 Mar. 3, 2006 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Provide for the Payment of Interest on Cash Clearing Fund Collateral Posted by Members of the Government Securities Division and to Provide for the Payment of Interest on the Basic Deposit Portion of the Participantsí Fund Posted by Members of the Mortgage-Backed Securities Division
Comments due: March 30, 2006

SR-FICC-2005-17
34-53396 Mar. 2, 2006 Notice of Filing of Proposed Rule Change Relating to Assumption of Blind Brokered Fails by its Government Securities Division
Comments due: March 29, 2006
See also:  Order: Rel. No. 34-54487

SR-FICC-2006-01
34-53395 Mar. 2, 2006 Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change to Exclude Non-U.S.-Based Central Securities Depositories From a Requirement To Purchase Shares of the Common Stock of The Depository Trust & Clearing Corporation
Comments due: March 29, 2006
Additional File Nos.: SR-DTC-2006-04, and SR-NSCC-2006-01

SR-FICC-2005-21
34-53106 Jan. 11, 2006 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Revise the Fee Structures of the Government Securities Division and the Mortgage-Backed Securities Division
Comments due: February 9, 2006

SR-FICC-2005-20
34-53061 Jan. 5, 2006 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Impose a Surcharge on Participants Submitting Trade Data by Batch Method
Comments due: February 2, 2006


FICC File Number List for 2006

Release No. Date Details

SR-FICC-2006-20
34-55164 Jan. 24, 2007 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the EPN Rules of its Mortgage-Backed Securities Division to Implement New Messaging Capabilities and Establish a Fee Structure
Comments due: February 22, 2007

SR-FICC-2006-19
34-56182 Aug. 1, 2007 Order Granting Approval of a Proposed Rule Change Relating to Membership, Definitions, and the Electronic Pool Notification Service
34-55515 Mar. 22, 2007 Notice of Filing of a Proposed Rule Change Relating to Membership, Definitions, and the Electronic Pool Notification Service
Comments due: April 19, 2007

SR-FICC-2006-18
34-54794 Nov. 20, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Certain Administrative Provisions of the Rules of the Government Securities Division and the Mortgage-Backed Securities Division
Comments due: December 20, 2006

SR-FICC-2006-17
34-55136 Jan. 19, 2007 Order Approving Proposed Rule Change Relating to Clearing Fund Deficiency Calls
34-54819 Nov. 27, 2006 Notice of Filing of a Proposed Rule Change Relating to Clearing Fund Deficiency Calls
Comments due: December 27, 2006

SR-FICC-2006-16
34-55217 Jan. 31, 2007 Order Approving Proposed Rule Change to Replace the Government Securities Division Clearing Fund Calculation Methodology with a Yield-Driven Value-at-Risk Methodology
34-54964 Dec. 19, 2006 Notice of Filing of Proposed Rule Change to Replace the Government Securities Division Clearing Fund Calculation Methodology with a Yield-Driven Value-at-Risk Methodology
Comments due: January 17, 2007

SR-FICC-2006-15
34-54969 Dec. 19, 2006 Order Approving Proposed Rule Change to Modify its Rules to Diversify and Standardize Clearing Fund Collateral Requirements Across the Divisions to Improve Liquidity and Minimize Risk for its Members
34-54682A Nov. 17, 2006 Notice of Filing of Proposed Rule Change to Modify its Rules to Diversify and Standardize Clearing Fund Collateral Requirements Across the Divisions to Improve Liquidity and Minimize Risk for its Members; Correction and Extension of Comment Period
Comments due: December 12, 2006
See also:  Notice: Rel. No. 34-54682
34-54682 Nov. 1, 2006 Notice of Filing of Proposed Rule Change to Modify its Rules to Diversify and Standardize Clearing Fund Collateral Requirements Across the Divisions to Improve Liquidity and Minimize Risk for its Members
Comments due: November 30, 2006

SR-FICC-2006-14
34-55134 Jan. 19, 2007 Order Granting Approval of Proposed Rule Change Relating To Returning Excess Clearing Fund Collateral
34-54787 Nov. 20, 2006 Notice of Filing of a Proposed Rule Change Relating to Returning Excess Clearing Fund Collateral
Comments due: December 18, 2006

SR-FICC-2006-13
34-54821 Nov. 28, 2006 Order Granting Approval of a Proposed Rule Change Relating to the Federal Reserve's National Settlement System
34-54622 Oct. 18, 2006 Notice of Filing of a Proposed Rule Change Relating to the Federal Reserve's National Settlement Service
Comments due: November 16, 2006

SR-FICC-2006-12
34-54879 Dec. 6, 2006 Order Approving a Proposed Rule Change Relating to Financial Responsibility, Operational Capability, Insolvency, and Ceasing to Act
34-54570 Oct. 4, 2006 Notice of Filing of a Proposed Rule Change Relating to Financial Responsibility, Operational Capability, Insolvency, and Ceasing to Act
Comments due: November 3, 2006

SR-FICC-2006-11
34-54899 Dec. 8, 2006 Order Approving a Proposed Rule Change Relating to Establishing New Reporting Processes to Support the Bilateral Comparison of Pool Details Associated with Specified Pool Trade Activity
34-54609 Oct. 16, 2006 Notice of Filing of a Proposed Rule Change Relating to Establishing New Reporting Processes to Support the Bilateral Comparison of Pool Details Associated with Specified Pool Trade Activity
Comments due: November 14, 2006

SR-FICC-2006-10
34-55037 Jan. 3, 2007 Order Approving Proposed Rule Change to Amend the Rules of its Mortgage-Backed Securities Division Regarding Membership Requirements for Unregistered Investment Pools
34-54769 Nov. 16, 2006 Notice of Filing of Proposed Rule Change to Amend the Rules of its Mortgage-Backed Securities Division Regarding Membership Requirements for Unregistered Investment Pools
Comments due: December 15, 2006

SR-FICC-2006-09
34-54173 Jul. 19, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Changes Whereby the President of Each Clearing Agency Shall Also Serve as its Chief Executive Officer
Other File Nos.:   SR-DTC-2006-10 and SR-NSCC-2006-08
Comments due:  August 18, 2006

SR-FICC-2006-08
34-54162 Jul. 17, 2006 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Removing References to Outdated EPN Reports
Comments due: August 14, 2006

SR-FICC-2006-07
34-54957 Dec. 18, 2006 Order Approving a Proposed Rule Change Relating to Providing Certain Reports to its Members
34-54619 Oct. 18, 2006 Notice of Filing of a Proposed Rule Change Relating to Providing Certain Reports to its Members
Comments due: November 15, 2006

SR-FICC-2006-06
34-53863 May 24, 2006 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Eligibility to Becoming a Funds-Only Settling Bank Member
Comments due: June 22, 2006

SR-FICC-2006-05
34-55364 Feb. 27, 2007 Order Granting Approval of a Proposed Rule Change Relating to the Wind-Down of a Participant
34-54929 Dec. 13, 2006 Notice of Filing of a Proposed Rule Change Relating to the Wind-Down of a Participant
Comments due:

SR-FICC-2006-04
34-53852 May 23, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Clarify Provisions in the Rules of the Government Securities Division Relating to the GCF Forward Mark Component of the Funds-Only Settlement Process
Comments due: June 20, 2006

SR-FICC-2006-03
34-54457 Sep. 15, 2006 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Changes to Institute a Clearing Fund Premium Based Upon a Memberís Clearing Fund Requirement to Excess Regulatory Capital Ratio
Other File No.:   SR-NSCC-2006-03
Comments due:  October 12, 2006
34-53671 Apr. 18, 2006 Notice of Filing of Proposed Rule Changes to Institute a Clearing Fund Premium Based Upon a Memberís Clearing Fund Requirement to Excess Regulatory Capital Ratio
Additional File No.: SR-NSCC-2006-03
Comments due: May 15, 2006

SR-FICC-2006-01
34-53395 Mar. 2, 2006 Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change to Exclude Non-U.S.-Based Central Securities Depositories From a Requirement To Purchase Shares of the Common Stock of The Depository Trust & Clearing Corporation
Comments due: March 29, 2006
Additional File Nos.: SR-DTC-2006-04, and SR-NSCC-2006-01

 

http://www.sec.gov/rules/sro/ficc/ficcarchive/ficcarchive2006.shtml


Modified: 06/12/2008